- Charles Schwab (Lone Tree, CO)
- …+ 5 years of experience in a Regulatory Testing/Examiner/Audit role + Investment Adviser and/or Investment Company experience required + ... Manager, responsible for conducting risk-based compliance testing within our affiliated investment advisory programs and mutual funds. The Senior Manager is an… more
- US Bank (Minneapolis, MN)
- …Management** **team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... well as the resources of US Bancorp Investments, which delivers planning, investment , insurance, and brokerage services. Together, we offer an integrated wealth… more
- US Bank (Minneapolis, MN)
- …Asset Management team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... well as the resources of US Bancorp Investments, which delivers planning, investment , insurance, and brokerage services. Together, we offer an integrated wealth… more
- First Horizon Bank (Knoxville, TN)
- …in job posting **Summary** Portfolio Manager / Business Development Officer at Registered Investment Adviser with $1.5 billion in assets under management. Work ... managers in the development and execution of the Martin & Company investment strategies. **Key Responsibilities Include** + Assist in equity and fixed income… more
- Neuberger Berman (New York, NY)
- …years' experience in registration, licensing, or compliance within a broker-dealer or investment adviser + Proactive, self-motivated, and highly organized + ... education (CE) requirements and processes for registered representatives and investment advisers + Experience supporting audits and regulatory examinations related… more
- GE Vernova (New York, NY)
- …FS' global regulated business activities, products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute controls ... principles and best practices. + Energy sector, infrastructure and/or development investment experience. + Experience with US and/or global regulatory regimes… more
- First National Bank of Omaha (Omaha, NE)
- …such as Bloomberg and FactSet. Tributary Capital Management is a SEC Registered Investment Adviser headquartered in Omaha, Nebraska. We provide asset management ... services to institutions, individuals, and investment companies and manage approximately $2.8 billion in multiple...fundamental research and security valuation. We have a long-term investment horizon, which we feel is a key to… more
- HUB International (New York, NY)
- …designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing compliance reviews, ... supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief… more
- Vanguard (Malvern, PA)
- …knowledge and experience with broker-dealer regulations is required, while familiarity with investment adviser , investment company and state regulations will ... investors, to treat them fairly, and to give them the best chance for investment success. Known for our strong ethical business practices and client focus, Vanguard… more
- MyFlorida (Tampa, FL)
- …experience working in risk management, compliance, operations, or the front office of an investment adviser or broker-dealer. + Individuals who hold or have held ... regulatory or compliance work experience relating to securities dealers, investment advisers, financial institutions, financial services companies or insurance… more